1. Philip J. Kroth, MD, MS Holly E. Phillips, MILS, MS Randall F. Stewart, M.D. Health Sciences Library and Informatics Center University of New Mexico AMIA Spring Congress May 23, 2007 Demystifying the NIH Public Access Policy: How to Optimize Access to Your Published Research

2. Panel Overview Open Access: Why Should I Care?: Dr. Kroth Example: NIH Public Access Policy: Dr. Stewart Open Access: How to Participate: Ms. Phillips Small Group Discussion Regroup/Summary/Evaluations

3. Open Access: Why Should I Care? (Dr. Kroth)

4. Overview “Traditional” Publication Process True Cost Examples Open Access Publication Process

5. “Traditional” Research & Publishing Process Journal GrantPaper Write Get Funded Peer Review Publish Write Give Away Copyright Sell Target Audience $ $ $ $ $

6. True Cost Example Brain Research ($24,000/year) Honda Civic Hybrid ($22,150) PLoS Biology (FREE)

7. 0% 20% 40% 60% 80% 100% 120% 140% FY92FY94 FY96 FY98FY00 FY02FY04 Inflation RatePeriodicals Budget Inflation Rate for Medical Journals vs. UNM Health Sciences Library and Informatics Center Journal Budget, 1991-2004 40% 131%

8. True Cost Examples Journal:Individual:Print:Online: Journal of Comparative Neurology$1350$21,000 Biochimica et Biophysica Acta$16,500 Mutation Research$12,500 Neuroscience$770$8500 Toxicology$6100 New England Journal of Medicine$149$5700 (+online) n/a Journal of the American Medical Informatics Association $250 (Members) $465 (+online) (Institutional Member) n/a

9. “Open Access” Research & Publishing Process Journal GrantPaper Write Get Funded Peer Review Publish Write Give Away Non- Exclusive Rights Sell Target Audience $ $ $ $ $ Open Access Venue Publish Free

10. What are your options as authors? Traditional Publishing –Peer review –Author signs over all rights to paper to publisher –Authors’ institution buys subscription for access to paper –Access to published work is limited to those with subscription and $$$ Open Access Publishing (OA) –Peer review –Signs over nonexclusive rights to publisher –Deposit paper in open access venue –Vastly improved access to published work

11. Why do it? Purely “selfish” reasons “Spend” your academic “capital” wisely Greater impact factor Improve the speed of scientific discovery Publish non-traditional content Improve access to the world’s medical literature Model this behavior for colleagues and mentees Be a part of the future of scholarly communication

12. This is not always easy You have to manage your copyright Not all journals will allow you to retain non- exclusive rights to your work Promotion and tenure committees like to see publications in particular journals Authors are busy and don’t want to take on an additional task in the research/publication process Change is uncomfortable!

13. Example: The NIH Public Access Policy (Dr. Stewart)

14. The NIH Public Access Policy 1 page long (515 words) Available from: Federal Register NIH Guide for Grants & Contracts Public Comments & NIH Responses

15. The NIH Public Access Policy

17. Actual Title: "The NIH Public Access Policy on enhancing public access to archived publications resulting from NIH- funded research" Actual Title: "The NIH Public Access Policy on enhancing public access to archived publications resulting from NIH- funded research"

18. The NIH Public Access Policy Policy Benefits: Stable archive Increase scientific use Increase public access Manage NIH research portfolio Statutory purposes Policy Benefits: Stable archive Increase scientific use Increase public access Manage NIH research portfolio Statutory purposes

19. The NIH Public Access Policy Clarifications & elaborations Policy substance What you need to know 4 lines/36 words Policy substance What you need to know 4 lines/36 words

20. The NIH Public Access Policy

21. "Beginning May 2, 2005, NIH-funded investigators are requested to submit an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported, in whole or in part, with direct costs from NIH..." The NIH Public Access Policy

22. "Beginning May 2, 2005, NIH-funded investigators are requested to submit an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported, in whole or in part, with direct costs from NIH..."

23. The NIH Public Access Policy "Beginning May 2, 2005, NIH-funded investigators are requested to submit an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported, in whole or in part, with direct costs from NIH..." Grants & career development awards Cooperative agreements Contracts Institutional and Individual NRSA NIH intramural research studies. Grants & career development awards Cooperative agreements Contracts Institutional and Individual NRSA NIH intramural research studies.

24. The NIH Public Access Policy "Beginning May 2, 2005, NIH-funded investigators are requested to submit an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported, in whole or in part, with direct costs from NIH..."

25. The NIH Public Access Policy "Beginning May 2, 2005, NIH-funded investigators are requested to submit an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported, in whole or in part, with direct costs from NIH..." Electronic submission Made directly to PubMed Central Electronic submission Made directly to PubMed Central

26. The NIH Public Access Policy What is PubMed Central? a "free digital archive of biomedical and life sciences journal literature." Administered by NLM PubMed Central ≠ PubMed

27. The NIH Public Access Policy "Disney World" "Search Engine" Indexing Information (metadata) "Repository" Actual Content (data) Search

28. The NIH Public Access Policy

29. "Beginning May 2, 2005, NIH-funded investigators are requested to submit an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported, in whole or in part, with direct costs from NIH..." Electronic submission Made directly to PubMed Central Electronic submission Made directly to PubMed Central Alternative means to provide publications as part of progress reports. "...Sending electronic copies is voluntary and will not be a factor in the review of scientific progress." 3-10 minutes Alternative means to provide publications as part of progress reports. "...Sending electronic copies is voluntary and will not be a factor in the review of scientific progress." 3-10 minutes

32. About 7 Screens Similar to other electronic submissions About 7 Screens Similar to other electronic submissions

33. The NIH Public Access Policy "Beginning May 2, 2005, NIH-funded investigators are requested to submit an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported, in whole or in part, with direct costs from NIH..."

34. The NIH Public Access Policy "Beginning May 2, 2005, NIH-funded investigators are requested to submit an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported, in whole or in part, with direct costs from NIH..."

35. Peer Review Initial Submission Author's Revisions Journal Formatting Proof Publication Electronic Version(s) Acceptance

36. The NIH Public Access Policy "Beginning May 2, 2005, NIH-funded investigators are requested to submit an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported, in whole or in part, with direct costs from NIH..." The version accepted for publication "...includes all modifications from the publishing peer review process." The version accepted for publication "...includes all modifications from the publishing peer review process."

37. Peer Review Initial Submission Author's Revisions Journal Formatting Proof Publication Electronic Version(s) Acceptance

38. The NIH Public Access Policy "Beginning May 2, 2005, NIH-funded investigators are requested to submit an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported, in whole or in part, with direct costs from NIH..." The version accepted for publication "...includes all modifications from the publishing peer review process." "...applies to peer-reviewed research publications...does not apply to book chapters, editorials, reviews, or conference proceedings." Publisher may provide the published version The version accepted for publication "...includes all modifications from the publishing peer review process." "...applies to peer-reviewed research publications...does not apply to book chapters, editorials, reviews, or conference proceedings." Publisher may provide the published version

39. Peer Review Initial Submission Author's Revisions Journal Formatting Proof Publication Electronic Version(s) Acceptance

40. The NIH Public Access Policy "Beginning May 2, 2005, NIH-funded investigators are requested to submit an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported, in whole or in part, with direct costs from NIH..."

41. The NIH Public Access Policy "Beginning May 2, 2005, NIH-funded investigators are requested to submit an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported, in whole or in part, with direct costs from NIH..." At acceptance: Authors submit to PMC At submission: Authors specify "holding period" between journal publication & PMC posting. "Posting... is requested and strongly encouraged as soon as possible (and within 12 mos. of the publisher's official date of final publication)." At acceptance: Authors submit to PMC At submission: Authors specify "holding period" between journal publication & PMC posting. "Posting... is requested and strongly encouraged as soon as possible (and within 12 mos. of the publisher's official date of final publication)."

42. The NIH Public Access Policy "Beginning May 2, 2005, NIH-funded investigators are requested to submit an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported, in whole or in part, with direct costs from NIH..."

43. The NIH Public Access Policy "Beginning May 2, 2005, NIH-funded investigators are requested to submit an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported, in whole or in part, with direct costs from NIH..."

44. The NIH Public Access Policy "Beginning May 2, 2005, NIH-funded investigators are requested to submit an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported, in whole or in part, with direct costs from NIH..."

45. The NIH Public Access Policy Public Comments & NIH Responses: Need for & Scope of the Policy Economic impact on Journal Publishers Copyright & intellectual property Public Comments & NIH Responses: Need for & Scope of the Policy Economic impact on Journal Publishers Copyright & intellectual property

46. Open Access: How to Participate (Ms. Phillips)

47. 4 Steps to Optimize Your Impact 1.Choose a journal 2.Manage your copyright 3.Deposit your work 4.Consider non-traditional content

48. 1.Choose a journal 2.Manage your copyright Steps 1 & 2: Journals and Copyright

49. Low Effort High Effort Journal Type Copyright Control Ease of Maintaining Copyright

50. Steps 1 & 2: Journals and Copyright Low Effort High Effort Journal Type Copyright Control OA Journal Total Control Ease of Maintaining Copyright

51. Journal and Copyright Examples JournalCopyright Notes PLoS, BioMed Central (PLoS Medicine, BMC Bioinformatics) Articles deposit directly into PMC No time embargo Massachusetts Medical Society (New England Journal of Medicine) Publisher PDF must be used Publisher copyright and source must be acknowledged On author's web site or institutional server only Nature Publishing Group (Nature, Nature Medicine) Elsevier (J American Medical Informatics Association) 6 – 12 month embargo Published source must be acknowledged Must link to publisher Publisher's version/PDF cannot be used On author or institutional server only American Medical Association (JAMA) NIH authors may submit articles to PubMed Central 6 months after publication LWW (Academic Medicine) Author retains no rights

52. Steps 1 & 2: Journals and Copyright Low Effort High Effort Journal Type Copyright Control OA Journal ‘Hybrid’ Journal Total Control Variable Control Ease of Maintaining Copyright

53. Journal and Copyright Examples JournalNotes PLoS, BioMed Central (PLoS Medicine, BMC Bioinformatics) Articles deposit directly into PMC No time embargo Massachusetts Medical Society (New England Journal of Medicine) Publisher PDF must be used Publisher copyright and source must be acknowledged On author's web site or institutional server only Elsevier (J American Medical Informatics Association) Nature Publishing Group (Nature, Nature Medicine) 6 – 12 month embargo Published source must be acknowledged Must link to publisher Publisher's version/PDF cannot be used On author or institutional server only American Medical Association (JAMA) NIH authors may submit articles to PubMed Central 6 months after publication LWW (Academic Medicine) Author retains no rights

54. Steps 1 & 2: Journals and Copyright Low Effort High Effort Journal Type Copyright Control OA Journal ‘Hybrid’ Journal Total Control Variable Control No Control Closed Journal Ease of Maintaining Copyright

55. Journal and Copyright Examples JournalNotes PLoS, BioMed Central (PLoS Medicine, BMC Bioinformatics) Articles deposit directly into PMC No time embargo Massachusetts Medical Society (New England Journal of Medicine) Publisher PDF must be used Publisher copyright and source must be acknowledged On author's web site or institutional server only Elsevier (J American Medical Informatics Association) Nature Publishing Group (Nature, Nature Medicine) 6 – 12 month embargo Published source must be acknowledged Must link to publisher Publisher's version/PDF cannot be used On author or institutional server only American Medical Association (JAMA) NIH & Wellcome Trust funded authors may submit articles to PMC 6 months after publication Imperial College Press (Journal of Bioinformatics and Computational Biology) Author retains no rights

56. Step 2: Control Your Copyright Add NIH suggested language to the publisher’s form ‘X Journal acknowledges that Y author retains the right to provide a copy of the final manuscript to NIH upon acceptance for X Journal publication or thereafter for public archiving in PubMed Central as soon as possible after publication by X Journal.’ Attach SPARC Author Addendum to copyright agreement –Author retains ability to post article on personal website and all types of IRs –Publisher must supply author with final typeset version of manuscript Check with your institution –University of California Scholarly Work Copyright Rights Policy –UC Board of Regents retains the right to place all work published by UC faculty in the UC institutional repository Payment Option (PLoS and BioMed Central)

57. Step 3: Deposit your work Subject repositories –PubMed Central Automatic if journal deposits in PMC! If not, easy submission process –UMDNJ Bioinformatics RPMs Repository Institutional repositories –UNM – DSpaceUNM –UC – eScholarship Repository –U Pittsburgh, Johns Hopkins, U Washington

58. Step 4: Consider Non-Traditional Content Data sets Images Appendices Posters And more…

59. The Green & Golden Roads of Open Access

60. Up Next Small Group Discussion (20 minutes) Regroup/Summary/Evaluations (10 minutes)

61. Discussion Topics What open access publishing activities have you participated in? What types of non-traditional content would you consider posting in an open access venue? What kind of assistance with open access publishing would you find helpful?